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Senior Compliance Officer The candidate will report to a Director/Ethics Officer in the Ethics Office and ultimately to Citi's Chief Ethics Officer. Ethics Officers interface with global businesses and regions and are primarily responsible for the end-to-end management of ethics investigations and the ethics process. This position will be responsible for assisting the Director/LatAm Ethics Officer in the handling of Ethics Office matters from the LatAm Region, including coordinating the case management process. Thus, fluency in English and Spanish is needed for this position. Key Responsibilities include: Oversee the timely investigation and effective handling of matters reported to the Ethics Office. Review and assign matters reported to the Ethics Office to appropriate Ethics Liaisons. Provide direction and guidance in the handling of ethics-related investigations. If needed, take active role in investigation, resolution, and follow up of matters to ensure that investigations are thorough, fair and timely. Partner with stakeholders in businesses, ICRM, Human Resources, Legal, Citi Security and Investigative Service, and other functions, as necessary, to ensure appropriate investigation, remediation and corrective actions are taken. Make appropriate recommendations to improve controls and systems that enable best practices, and effective and efficient resolution of risk. Identify, analyze and escalate trends, correlations and key issues. Prepare reports regarding trends, significant matters and compliance issues for appropriate stakeholders. Assist with any and all elements of bank’s Global Ethics Program, including drafting and review of Ethics Program policies and procedures. Ensure that all matters are handled with fairness to involved stakeholders. Capable of establishing and maintaining credibility and trust throughout organization. Analyze new matters, recognize risks and apply sound judgment, including identifying and escalating significant matters quickly and appropriately. Able to analyze quantitative and qualitative data and create reports, highlighting trends, correlations and key issues. Should have 7 years of litigation, prosecutorial, investigations, employment law, or regulatory experience, including familiarity with the financial services industry and products, and a strong understanding and familiarity with a global, corporate environment. Will have outstanding writing and analytical skills, sound judgment, discretion, and an understanding of business processes. Familiarity with the United States Sentencing Guidelines, Sarbanes-Oxley Act, and related best practices is preferred. Must be fluent in English and Spanish.
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